Personnel Hong Kong SFC License Details (ID 93550)

Personnel Hong Kong SFC License Details (ID 93550)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2021-06-07	-
	Rep	Advising on securities	2021-06-07	-
	Rep	Dealing in securities	2021-06-07	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2021-06-07	-
	Rep	Dealing in futures contracts	2021-06-07	-
	Rep	Dealing in securities	2021-06-07	-
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2016-12-19	2021-03-05
	Rep	Dealing in securities	2016-12-19	2021-03-05
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2014-01-03	2021-03-05
	Rep	Dealing in securities	2014-01-03	2021-03-05
UBS SECURITIES HONG KONG LIMITED	Rep	Providing automated trading services	2014-01-03	2016-12-18
	Rep	Dealing in securities	2014-01-03	2016-12-18
Religare Capital Markets (Hong Kong) Limited	Rep	Dealing in securities	2009-12-07	2013-12-31
SFGHK Limited	Rep	Dealing in securities	2009-04-30	2009-11-27
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	Rep	Dealing in securities	2008-02-01	2009-03-03